Rick A. Dibernardo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rick Anthony Dibernardo, who also goes by Rick A Dibernardo, Rick Dibernardo, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1992. Rick had worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2024 - August 18, 2025
SYMETRA SECURITIES, INC.
March 29, 2021 - October 9, 2023
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 6, 2020 - October 17, 2023
ANCHOR CAPITAL
May 10, 2018 - September 27, 2019
FORESTERS FINANCIAL SERVICES, INC.
October 4, 2013 - January 3, 2018
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 26, 2010 - September 18, 2013
FORESIDE GLOBAL SERVICES, LLC
February 25, 2009 - July 27, 2009
OLD MUTUAL CAPITAL
March 9, 2006 - July 27, 2009
OLD MUTUAL INVESTMENT PARTNERS
May 26, 2004 - March 1, 2006
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
June 25, 2003 - May 26, 2004
FEDERATED INVESTMENT COUNSELING
June 24, 2003 - May 26, 2004
FEDERATED SECURITIES CORP.
November 2, 2000 - April 11, 2003
NAVELLIER SECURITIES CORP.
July 28, 1997 - October 19, 1999
UBS FINANCIAL SERVICES INC.
January 12, 1993 - July 31, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 1992 - March 15, 1993
IDS LIFE INSURANCE COMPANY
December 11, 1992 - March 15, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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